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Securities Firms

Risk Management at a Glance

Integrated credentialing and compliance risk management for securities firms

Leveraging Vertafore's proven track record of regulatory and technology innovation, Sircon® solutions help securities firms eliminate operational costs, better manage risk, and adhere to regulations by automating the processes essential to keeping brokers / advisors / agents both compliant and authorized to sell.

Manage disclosures, securities registrations, insurance licenses and supervision hierarchy in one secure, scalable SaaS product.

We help securities firms


Save Money

Reduce
Compliance Risk

Improve the
Advisor Experience

Features:

Get and keep advisors / agents authorized to sell — faster.

Sircon offers enhanced connectivity to share data between your organization, carrier partners, education providers, and regulatory stakeholders—in a highly secure, scalable environment.